Articles published 5/2010
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Publish date
Structuring distribution strategies for retirees in a bear market
In this piece, which won an honorable mention in IMCA's 2010 Stephen L. Kessler Writing Award contest, Jack Gardner explores options for conserving retirement portfolios.
May 31, 2010 at 4:41 AM
Performance measurement challenges for investors who live in a perpetual time horizon world
Columnist Frederick C. Bruckner argues that trustees can afford greater patience with the investment managers they choose.
May 31, 2010 at 4:40 AM
Of Trumpets and Tulips: Is time diversification a myth or reality? Does time horizon affect the tolerance for risk?
Since risk grows at a slower rate than cumulative return, the ratio of return to risk improves with time
May 31, 2010 at 4:39 AM
A compliance attorney fields four tough 401(k) questions amid crossfire provoked by Ric Lager's column
Peter Savarese's answers show how RIAs can manage 401(k) assets and avoid land mines
May 28, 2010 at 4:39 AM
Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate
Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus
May 28, 2010 at 4:37 AM
Brochu drops lawsuit against Focus Financial but $500,000 is still at issue
Rhode Island advisor backs off initial suit after getting most documents
May 27, 2010 at 4:27 AM
Selling your value proposition
Gray hairs have a leg up in this market. Younger advisors rely on their ability to explain their process
May 27, 2010 at 4:26 AM
Raymond James names new head of its Women's Network
Nicole Spinelli brings recruiting experience and a women's studies babckground
May 27, 2010 at 3:34 AM
9 things to know about the breakaway-to-RIA movement and why it's likely to get bigger
In a down market, RIAs need a new growth strategy and small brokers a safe landing place
May 26, 2010 at 7:18 AM
How Time magazine's "Sheriff" article about Mary Schapiro, Sheila Blair and Elizabeth Warren misses the mark
Applying the busting-through-the-glass-ceiling narrative to women presumes that they haven't already
May 26, 2010 at 7:18 AM
Why gathering big-time 401(k) assets -- and charging regular fees -- is well within reach for most experienced RIAs
The obstacles are overrated and the opportunity is underrated
May 25, 2010 at 4:57 AM
Compliance GPS: It may be a mistake to project too successful an image, especially in a post-Bernie Madoff world
Hint: photos of you on a yacht may not be what your clients are looking for right now
May 25, 2010 at 4:57 AM
Seven things advisors need to know about social media
Shocking but true: In a connected world, the number of Google hits your firm gets increases your credibility. Social media can help.
May 25, 2010 at 4:22 AM
Royal Bank of Canada is hustling to become an RIA custody force
RBC Advisor Services weaves together RIA businesses of old Dain Rauscher and old Bear Stearns
May 24, 2010 at 5:50 AM
Double-dip market disaster on tap next? Not likely, say pundits from Schwab, Fidelity, Barron's and Seeking Alpha
Digest of recent pundit writings counters view of Joseph Stiglitz that consumers are out of bullets
May 24, 2010 at 4:31 AM
Two years later, a Merrill Lynch breakaway team has no regrets
No one took a pay cut, no one is answering to a manager anymore, and there's never a question about buying a stapler
May 21, 2010 at 4:40 AM
Regulatory Wire: Is it game-over for the fiduciary standard this year? Advocates say, maybe not
Johnson amendment, calling for study of harmonizing regulations, passes as part of 1,596-page bill
May 21, 2010 at 4:31 AM
Facing the breakaway paper blob with a game plan and a quarterback
Half the battle is getting the right forms with the red arrows plastered by the signature lines
May 21, 2010 at 4:30 AM
Postscript to the Fidelity Executive Forum article: The RIA perspective
Abigail Johnson sent the right message with her presence and her speech, advisors say
May 20, 2010 at 5:51 AM
The Leading Indicator: Breakaway lawyers turn the tables and invite RIA providers to their own conference
The business plan and the breakaway plan of RIA service providers are starting to look the same
May 20, 2010 at 4:49 AM
Here's a 15-item checklist of low-hanging tax tips for financial advisors
It's tempting to put April 15th behind you, but here's how you can plan for next year
May 20, 2010 at 4:48 AM
Trust Company of America is modifying its approach despite lights-out growth
The Denver-based RIA custodian is no longer content to be a niche player
May 19, 2010 at 6:24 AM
How the NFL Players Association brought financial advisors to Florida to better marry them to its members
Advisors new to the league's program must attend the conference during their “rookie” season
May 19, 2010 at 6:23 AM
Breakaways continue apace: new additions to the Broker Protocol
Nine new firms joined in two weeks
May 19, 2010 at 6:00 AM
What happened at Fidelity's RIA conference this year
The presence of Ned Johnson and George W. Bush lent gravitas to the annual event
May 18, 2010 at 5:49 AM
Stiglitz to IMCA crowd: Hunker down for painful recovery
No froth in this economist's speech. He sees governments-in-a-box and political instability
May 18, 2010 at 5:42 AM
How the breakaway movement is driving the outsourcing trend
Simplifying day-to-day tasks is at a premium for firms set on executing intensive growth strategies
May 17, 2010 at 4:30 AM
Massachusetts Privacy Laws got toned down [some] but they're still a compliance headache
Here are 12 questions asked and answered about the intensive new regulations
May 17, 2010 at 4:27 AM
Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation
May 14, 2010 at 11:07 PM
Matt Abar is rewarding loyal Techfi customers as beta period ends
The conversion to FinFolio Workstation 2010 will be free
May 14, 2010 at 5:48 AM
Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged
Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall
May 14, 2010 at 5:38 AM
[Updated] Focus Financial amended statement today to say it obtained restraining orders against David Brochu of StrategicPoint
Brochu says he is restraining himself without being ordered to do so by a judge
May 13, 2010 at 7:00 AM
How I survived switching custodians twice in one year, and how you can, too
A new home more to your liking lies at the end of the road, but it can be a bumpy journey
May 13, 2010 at 6:59 AM
What the Charles Goldman and David Brochu lawsuits say about the RIA business
Good people and good companies sick lawyers on each other when so much happens so fast
May 13, 2010 at 6:23 AM
RIABiz takes a peek under the hood of Advent Portfolio Exchange
The San Francisco software giant has made customer relationship management a big priority
May 12, 2010 at 5:26 AM
The world according to advisors
Scanning the RIAbiz stats for what advisors were thinking about over the past month
May 12, 2010 at 4:52 AM
Schwab unveils a plan to create a grand ecosystem of top technology vendors to RIAs
Executives of the San Francisco RIA custodian believe they can take integration further than Fidelity's WealthCentral
May 11, 2010 at 6:08 AM
Several hundred small RIAs gain access to Black Diamond software at reduced rates
Shareholders Service Group will be one service point for its advisor clients
May 11, 2010 at 6:07 AM
Advent Software is moving ahead in the RIA tech market-- even if most Axys users refuse to budge
Advent Portfolio Exchange is hitting its stride but mostly thanks to a whole new generation of customers
May 10, 2010 at 6:34 AM
How ETFs have been oversold when it comes to flexibility, lower costs and tax efficiency
ETFs are the new sacred cow, but Adam Bold calls them hamburger
May 10, 2010 at 6:19 AM
Regulatory Wire: Advisor groups long have pushed for the fiduciary standard; because of the Goldman Sachs case, they may get what they asked for, and more
Senators call for ERISA-level standards of care for retail investors; also, Schapiro puts new ADV part 2 back on the radar
May 7, 2010 at 6:06 AM
Advent Software got a lift from improving APX sales in first quarter
San Francisco-based broker is at important point in its history
May 7, 2010 at 6:05 AM
Stock market Euro-trashed: What does it mean for your clients' wealth?
It's a great time to readjust Beta after an 80% surge from the lows and just a 6% selloff this week
May 7, 2010 at 4:19 AM
Debate continues: Fiduciary standard no panacea
Financial Services Institute advocates for study, deliberate look at investor protection
May 6, 2010 at 6:30 AM
HighTower Advisors and United Capital seek to stamp out wirehouse feel by embracing Apple technology
The aggregators see risk in standing pat with PC technology when advisors use Macs at home
May 6, 2010 at 6:28 AM
SIFMA will take over administration of Broker Protocol list
Wachtell, Lipton, Rosen & Katz gives up reins of legal truce after list of participants balloons to 471 firms
May 6, 2010 at 6:25 AM
One-Man Think Tank: Inside the legal issues of the Goldman Sachs hearings
Sorting out the culpability of the Wall Street powerhouse requires a close look at the suitability standard
May 5, 2010 at 5:14 AM
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
May 5, 2010 at 4:57 AM
Straight talk from a community bank breakaway
Being a fee-based RIA is a strong selling point in a town where you're the only one
May 4, 2010 at 4:20 AM
Behind the PR man's curtain: how RIAs can successfully deal with the media
How to develop a strategy that helps convince clients to trust their assets to you
May 4, 2010 at 4:18 AM
Goldman Sachs' wealth managers are taking recruiters' phone calls amid concerns over scandal fallout
The 'betting-against' allegations have some brokers fearful about their ability to attract new prospects
May 3, 2010 at 6:13 AM
TD Ameritrade's technology, Veo, wins high praise from advisors so RIABiz took a look
Veo got a head start and has unique third party tools
